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Leveraging FinPro for Streamlined Compliance (U4)

Learn about the benefits of using Financial Professional Gateway (FinPro), a platform of growing tools for registered individuals, to streamline firm compliance work processes.

Leveraging FinPro and FIND Webinar

Learn more about how firms can use FinPro to support onboarding practices, including how to transition recruits from the Financial Industry Networking Directory (FIND) to the platform.

Moving From CRD to FINRA Gateway Webinar

FINRA is hosting webinars to discuss the transition of CRD tools to the new FINRA Gateway. This webinar will include several real-work scenarios demonstrating how to perform registration compliance tasks through the FINRA Gateway. Information about the FINRA Gateway pilot and feedback will also be discussed, and time will be allotted at the end of the webinar for a Q&A.

Enhanced U4 Webinar

Learn about the improved U4 online filing experience that will become available later this year in FINRA Gateway and FinPro.

2017054462001 Axiom Capital Management, Inc CRD 26580 AWC sl (2020-1593217167932).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054462001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Axiom Capital Management, Inc., Respondent Member Firm CRD No. 26580 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Axiom Capital Management, Inc. (“Axiom” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

Leveraging FinPro for Streamlined Compliance (U4)

Leveraging FinPro and FIND Webinar

Moving From CRD to FINRA Gateway Webinar

Enhanced U4 Webinar

2017054462001 Axiom Capital Management, Inc CRD 26580 AWC sl (2020-1593217167932).pdf

19-03020.pdf

19-03283.pdf

20-00380.pdf

19-01266.pdf

19-02724.pdf